FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Yousuf Saljooki CRD No. 5045123, Respondent. Disciplinary Proceeding No. 2019063626702 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Yousuf Saljooki failed to provide information and documents, and failed to appear for on-the-record testimony, that FINRA Staff had requested pursuant to FINRA Rule 8210. As a result, Saljooki violated FINRA Rules 8210 and 2010.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017053314902 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christopher Fernan (Respondent) Former General Securities Representative CRD No. 5896584 Pursuant to FINRA Rule 9216. Respondent Christopher Fernan submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063916701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Troy R. Baily, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 4458930 Pursuant to FINRA Rule 9216, Respondent Troy R. Baily submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.